NATIONAL SCIENCE FOUNDATION (NSF)

Cooperative Agreement Financial & Administrative Terms and Conditions (CA-FATC)

Effective January 25, 2016 Effective January 25, 2016, new NSF cooperative agreements and funding amendments to existing NSF cooperative agreements will begin referencing, and are subject to, the Cooperative Agreement Financial & Administrative Terms and Conditions (CA-FATC) dated 01/25/16. TABLE OF CONTENTS Article Subject

1. Awardee Responsibilities and Compliance with Federal Requirements 2. NSF Responsibilities 3. Prior Approval Requirements 4. Pre-Award Costs 5. Consultant Services 6. Equipment 7. Participant Support Costs 8. Significant Project Changes

a. Transfer of the Project Effort b. Changes in Objectives or Scope c. Long-Term Disengagement or Change of Principal Investigator/Project Director

(PI/PD) or co-PI/co-PD 9. Procurement Standards 10. Travel 11. Rearrangement and Reconversion Costs 12. Allowable Costs 13. Payments 14. Cooperative Agreement Increments 15. Project Reporting Requirements

a. Annual Project Reports b. Final Project Report c. Project Outcomes Report for the General Public

16. Expenditure Reports 17. Information Collection 18. Responsible Conduct of Research 19. Reporting Subawards and Executive Compensation 20. System for Award Management and Universal Identifier Requirements 21. Academic Technology Transfer and Commercialization of University Research 22. Federal Tax Obligations 23. Unpaid Federal Tax Liability 24. Criminal Convictions

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25. Copyrighted Material 26. Public Access to Copyrighted Material 27. Program Income 28. Publications 29. Patent Rights 30. Cost Sharing and Cost Sharing Records 31. Audit and Records 32. Site Visits 33. Suspension or Termination 34. Termination Review Procedure 35. Non-Discrimination Statutes 36. Reporting Classifiable Information 37. Animal Welfare 38. Research Involving Recombinant or Synthetic Nucleic Acid Molecules 39. Clean Air and Water 40. Human Research Subjects 41. Life Sciences Dual Use Research of Concern (DURC) 42. Investigator Financial Disclosure Policy 43. Whistleblower Protection 44. State Sales and Use Taxes 45. Debarment and Suspension 46. Changes—Limitation of Funds 47. Resolution of Conflicting Conditions 48. Resolution of Disagreements and Disputes Other Considerations 49. Liability 50. Sharing of Findings, Data, and Other Research Products 51. Partnerships with Foreign Collaborators 52. Government Permits and Activities Abroad 53. Increasing Seat Belt Use in the United States

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1. Awardee Responsibilities and Compliance with Federal Requirements a. The awardee has full responsibility for the conduct of the project or activity supported

under this award and for adherence to the award conditions. Although the awardee is encouraged to seek the advice and opinion of NSF on special problems that may arise, such advice does not diminish the awardee's responsibility for making sound scientific and administrative judgments and should not imply that the responsibility for operating decisions has shifted to NSF. The awardee is responsible for notifying NSF about: (1) any allegation of research misconduct that it concludes has substance and requires an investigation in accordance with NSF research misconduct regulations published at 45 Code of Federal Regulations (CFR) Part 689; or (2) any significant problems relating to the administrative or financial aspects of the award.

b. The requirements of this award are contained in these Cooperative Agreement Financial

& Administrative Terms and Conditions unless otherwise specified in the notice of award. The applicable Federal administrative standards are incorporated by reference and are contained in 2 CFR § 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). These Cooperative Agreement Financial & Administrative Terms and Conditions (CA-FATC) serve as the Foundation’s implementation of 2 CFR § 200. If the CA-FATC is silent on a specific area covered by 2 CFR § 200, the requirements specified in 2 CFR § 200 must be followed.

c. By acceptance of this award, the awardee agrees to comply with the applicable Federal

requirements for cooperative agreements and to the prudent management of all expenditures and actions affecting the award, including the monitoring of subrecipients (if applicable). Specific guidance on subrecipient monitoring and management can be found in 2 CFR § 200.331. A listing of National Policy Requirements that awardees must adhere to, where applicable, is located at: http://www.nsf.gov/bfa/dias/policy/gc1/policymatrix_dec14.pdf.

d. Documentation for each expenditure or action affecting this award must reflect

appropriate organizational reviews or approvals that should be made in advance of the action. Organizational reviews are intended to help assure that expenditures are allowable, necessary and reasonable for the conduct of the project, and that the proposed action: 1. is consistent with award terms and conditions; 2. is consistent with NSF and awardee policies; 3. represents effective utilization of resources; and 4. does not constitute a significant project change (see Article 8).

Nothing in this article shall be construed to require administrative reviews or

documentation that duplicates those already required by existing organizational systems or by applicable Federal standards, e.g., 2 CFR § 200.

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e. The awardee is responsible for ensuring that the Principal Investigator(s) (PIs) or Project

Director(s) (PDs) and co-PIs/co-PDs receive a copy of the award conditions, including: the notice of award, the budget, these general terms and conditions, any special or award specific terms and conditions, and any subsequent changes in the award conditions. These award conditions are made available to the awardee by NSF in electronic form at http://www.nsf.gov/awards/managing/co-op_conditions.jsp?org=NSF, and may be duplicated, copied or otherwise reproduced by the awardee as appropriate. This provision does not alter the awardee's full responsibility for conduct of the project and compliance with all award terms and conditions. Cooperative agreements are available electronically via the NSF FastLane system at https://www.fastlane.nsf.gov/. Sponsored project offices are able to view, print and/or download NSF notices of award for their organizations and /PIs/PDs and co-PIs/co-PDs can access their individual notices of award through use of the FastLane system.

2. NSF Responsibilities a. The awardee has overall responsibility for NSF-funded cooperative agreements,

including providing award oversight for technical/programmatic, as well as financial and administrative performance. The cognizant NSF Program Officer may participate in discussions of programmatic, technical, managerial, and/or scheduling concerns; provide guidance and/or advice, especially with regard to the integration, collaboration, and coordination with other education projects funded by NSF; will review and, where required by the Agreement, approve technical or programmatic reports and information submitted by the awardee; and may schedule desk and on-site reviews as necessary to resolve any NSF award questions or resolve follow-up audit issues.

b. The awardee shall submit all requests for prior approval in accordance with the

procedures identified in 3.d. below. c. The cognizant NSF Program Officer will only request additional work within the scope of

the award; will only issue instructions that do not constitute significant changes as defined in Article 8; and will only suggest changes that will not increase or decrease the estimated cost or time required for performance under the Cooperative Agreement.

3. Prior Approval Requirements Unless otherwise specified in the notice of award, the Federal administrative requirements for prior agency approval summarized in 2 CFR § 200.308, and the provisions of the governing cost principles, the requirement to obtain NSF prior approval applies only to the activities and expenditures specified below.

a. Consistent with 2 CFR § 200, written prior approval from the cognizant NSF Grants and Agreements Officer is required for:

1. Significant Project Changes

(a) Transfer of the project effort (see Article 8. See also 2 CFR § 200.308)

(b) Changes in objectives or scope (see Article 8. See also 2 CFR § 200.308)

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(c) Long-Term Disengagement or change of PI/PD or co-PI/co-PD (see Article 8. See also 2 CFR § 200.308)

(d) Change to cost sharing commitments reflected on Line M of the NSF award budget (see Article 30)

2. Rearrangement and Reconversion Costs (see Article 11)

3. Salaries of administrative or clerical staff (see 2 CFR § 200.413)

4. Travel costs for dependents (see Article 10. See also 2 CFR § 200.464)

5. Additional categories of participant support costs other than those described in 2 CFR § 200.75 (see Article 7. See also 2 CFR § 200.75 and the NSF Grant Proposal Guide (GPG) Chapter II.C.2.g(v)).

b. Written prior approval from the cognizant NSF Program Officer is required for transfer of funds budgeted for participant support (see Article 7. See also 2 CFR § 200.308(c)(5)).

c. All requests for no cost extensions must be submitted in accordance with the procedures set forth in the Award & Administration Guide (AAG) Chapter I.D.3.c.(ii.)1 Grantee-approved extensions are not applicable to NSF cooperative agreements.

d. Requests for the prior approvals identified above (as well as other types of award related

notifications or requests stipulated in the AAG Chapter II, Exhibit II-1) must be submitted via the use of NSF’s electronic systems.

4. Pre-Award Costs a. Awardees may approve pre-award costs incurred within the ninety calendar day period

immediately preceding the before the start date of the award. Requests for approval of pre-award costs for periods greater than 90 calendar days must be submitted electronically via NSF’s electronic systems. Pre-award expenditures prior to the funding of an increment within a continuing award are not subject to this limitation or approval requirement, but are subject to paragraph c. below.

b. Pre-award costs must be necessary for the effective and economical conduct of the

project and the costs must be otherwise allowable in accordance with Article 12. c. Pre-award expenditures are made at the awardee's risk. Awardee authority to approve

pre-award costs does not impose an obligation on NSF: (1) in the absence of appropriations; (2) if an award is not subsequently made; or (3) if an award is made for a lesser amount than the awardee anticipated.

1 Awardees are not authorized to extend an award that contains a zero balance.

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5. Consultant Services (also referred to as Professional Service Costs) Costs for professional and consultant services, including those who are members of a particular profession or possess a special skill and who are not officers or employees of the performing organization, are allowable when reasonable in relation to the services rendered and when not contingent upon recovery of costs from NSF. If not included in the award budget, anticipated services must be justified and information furnished on each individual’s expertise, primary organizational affiliation, normal daily compensation rate, and number of days of expected service. Consultants’ travel costs, including subsistence, may be included. If requested, the awardee must be able to justify that the proposed rate of pay is reasonable. Additional information on the allowability of consultant costs is available in 2 CFR § 200.459. 6. Equipment The standards for managing and disposing of property furnished by NSF or whose cost was charged to a project supported by an NSF award are outlined in 2 CFR §§ 200.310-316. See also FAQ 200.318-1 of the Frequently Asked Questions for The Office of Management and Budget’s Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 CFR § 200 regarding Equipment and A-110 Screening Procedures. a. Title to Equipment – Universities and Other Non-profit Organizations Unless otherwise specified in the cooperative agreement, title to equipment purchased

or fabricated with NSF award funds by a college or university or other non-profit organization will vest in the awardee organization upon acquisition, in accordance with 15 United States Code (USC) 3710. Such equipment is considered exempt property and shall be acquired and used in accordance with paragraph c below. In special situations, the award may require that title to equipment purchased, acquired or fabricated by the awardee with NSF funds pass directly to the government upon acquisition.

b. Title to Equipment – Commercial Organizations Unless otherwise specified in the award, title to equipment purchased or fabricated with

NSF award funds by a small business or other for-profit organization will vest in the Government. Such equipment will be acquired and used in accordance with paragraph c below.

c. Conditions for Acquisition and Use of Equipment 1. Awardee Assurance. The awardee will assure that for each purchase of equipment, it

is:

(a) necessary for the research or activity supported by the award; (b) not otherwise reasonably available and accessible; (c) of the type normally charged as a direct cost to sponsored agreements; and (d) acquired in accordance with organizational practice.

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2. General Purpose Equipment.

Expenditures for general-purpose equipment are typically not eligible for support (see AAG Chapter IV.D.2.b).

3. Equipment Usage. The equipment must remain in use for the specific project for

which it was obtained in accordance with 2 CFR § 200.313(c)(1), unless the provision in 2 CFR § 200.313(c)(4) applies.

4. Equipment Sharing. The equipment must be shared on other projects or programs in accordance with CFR § 200.313(c)(1).

5. Property Management Standards. The awardee shall maintain a property

management system that, at a minimum, meets the requirements of 2 CFR § 200.313(d). Because of increasing threats to information technology systems, the awardee is reminded that, under 2 CFR §§ 200.313(d)(3) and (4), "[a] control system must be developed to ensure adequate safeguards to prevent loss, damage, or theft of the property" and "[a]dequate maintenance procedures must be developed to keep the property in good condition." This requirement imposes on the awardee a duty to adequately maintain and to insure adequate safeguards against the loss, damage, or theft of information technology equipment and systems purchased with NSF funds.

6. Inventory Requirements.

(a) In the event that title to equipment is vested in the Federal Government,

such property shall be marked, tagged or segregated in such a manner as to indicate clearly its ownership by the government. In accordance with the requirements of 2 CFR § 200.312(a), for all NSF-owned equipment having an original acquisition cost of $5,000 or more, the awardee must submit an annual inventory report by NSF award number of such property to the NSF Property Administrator, Division of Administrative Services (DAS). The report should include all NSF owned equipment purchased or constructed, including land and buildings, under the award or acquired by screening excess through the General Services Administration (GSA); and include the type of equipment or property, serial number, acquisition price, acquisition date and condition of the equipment. In the event that the awardee is in possession of NSF-owned equipment under multiple awards, the reporting must be specific to each NSF award number.

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The report also should include a description of Construction-in-Progress (CIP) and Work-in-Progress (WIP) items and construction costs incurred to date. CIP is defined as real property that is in the process of being manufactured or fabricated but is not yet complete. WIP is defined as equipment that is in the process of being manufactured or fabricated but is not yet complete. CIP and WIP consist of the costs of direct materials, direct labor, direct purchased services, and indirect costs, including general and administrative and overhead costs. Costs coded as such should not be depreciated. The inventory should be submitted electronically to fsrpts@nsf.gov and must be received by DAS no later than August 15 each year.

(b) A physical inventory of NSF-owned equipment shall be conducted every two years pursuant to 2 CFR § 200.313(d)(2). At the end of the award, the awardee shall report the property to the Property Section for further agency utilization (See AAG Chapter IV.D.5).

7. Competition. The awardee shall not use equipment acquired with Federal funds

to provide services to non-Federal outside organizations for a fee that is less than private companies charge for equivalent services, unless specifically authorized by Federal statute for as long as the Federal government retains an interest in the equipment in accordance with 2 CFR § 200.313(c)(3).

8. Right to Transfer Title.

(a) In accordance with 2 CFR § 200.313(e), NSF may identify items of

equipment having an acquisition cost of $5,000 or more where NSF reserves the right to transfer the title to the Federal Government or a third party named by the Federal Government at any time during the award period.

(b) In cases where NSF elects to transfer the title, disposition instructions will

be issued no later than 120 days after the end date of the NSF-supported project for which it was acquired.

7. Participant Support Costs a. Participant support costs as defined in 2 CFR § 200.75 are direct costs for items such as

stipends or subsistence allowances, travel allowances and registration fees paid to or on behalf of participants (but not employees) in connection with NSF-sponsored conferences. In accordance with Article 3, prior approval is required for any additional categories of participant support costs, such as incentives, gifts, souvenirs, t-shirts and/or memorabilia. The request must be submitted via use of NSF’s electronic systems and NSF approval of such changes will be by an amendment to the award signed by the cognizant NSF Grants and Agreements Officer. Awardee organizations must account for participant support costs separately. Indirect costs (F&A) are not allowed on participant support costs (see GPG Chapter II.C.2.g(v)).

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b. Funds provided for participant support may not be used by awardees for other categories of expense without the specific prior written approval of the cognizant NSF Program Officer. Such requests must be submitted electronically via use of NSF’s electronic systems.

8. Significant Project Changes Consistent with 2 CFR § 200.308, the awardee is required to obtain prior written approval from the cognizant NSF Grants and Agreements Officer whenever there are significant changes in the project or its direction as stipulated below. a. Transfer of the Project Effort

1. NSF authorization to transfer a significant part of the research or substantive

effort to another organization that has been disclosed in the proposal is not needed unless approval has been specifically withheld in the notice of award.

2. If it becomes necessary to transfer a significant part of the research or effort

after an award has been made, notification of this intent should be submitted via use of NSF’s electronic systems and must be electronically signed by an Authorized Organizational Representative (AOR). The request shall include a clear description of the work to be performed and a proposed budget (see AAG Chapter II.B.3 for additional information). NSF approval of such changes will be by an amendment to the award signed by the cognizant NSF Grants and Agreements Officer.

3. The awardee remains responsible for monitoring of the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with Federal statutes, regulations, and the terms and conditions of the subaward as outlined in 2 CFR § 200.331. This includes maintaining the necessary documentation on all subawards and making it available to NSF upon request. The awardee shall include subaward activities in the annual and final project reports that are submitted to NSF.

4. Consistent with the guidance in 2 CFR § 200.331, awardees must adhere to the

requirements for pass-through entities in establishing and managing subawards and contracts issued under the award. In addition, awardees shall ensure that the following articles, if applicable, flow down to all subawardees, or are appropriately addressed in the subaward instrument: Articles 5, 7, 9, 10, 11, 12, 17, 18, 19, 20, 25, 27, 28, 29, 30, 31, 32, 35, 36, 37, 38, 39, 40, 41, 43, 44, 45, 49, 50, 52 and 53. If the awardee issues contracts exceeding $2,000 for construction, alteration or repair that are within the scope of the Acts found in 2 CFR § 200, Appendix II, “Contract Provisions for Non-Federal Entity Contracts Under Federal Awards,” the appropriate clauses applicable to construction activities also will be included in applicable contracts.

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b. Changes in Objectives or Scope A proposed change in the phenomenon or phenomena under study or the objectives of

the project stated in the proposal or agreed modifications thereto should be communicated via use of NSF’s electronic systems. NSF approval of such changes will be by an amendment to the award approved by the cognizant NSF Grants and Agreements Officer.

c. Long-Term Disengagement or Change of Principal Investigator/Project Director or co-

Principal Investigator/co-Project Director

If a named PI/PD or co-PI/co-PD plans to or becomes aware that he or she will: (1) devote substantially less effort to the work than anticipated in the approved proposal (defined in 2 CFR § 200.308(c)(3) as a reduction of 25% or more in time devoted to the project); (2) sever his or her connection with the awardee organization; or (3) be disengaged from the project for a continuous period of more than 3 months, or otherwise relinquish active direction of the project, he or she shall advise the appropriate official at the awardee organization, who shall initiate action appropriate to the situation in accordance with the guidelines described in AAG Chapter II.B.2.

9. Procurement Standards Whether or not approval of a procurement is required under Article 8a, where appropriate, the awardee (including commercial organizations) is responsible for compliance with the procurement standards identified in 2 CFR § 200.318. The awardee also is responsible for ensuring that the provisions contained in Appendix II of 2 CFR § 200 are made a part of any contract whose award amount exceeds the simplified acquisition threshold (currently $150,000).

See FAQ 200.110-6 of the Frequently Asked Questions for The Office of Management and Budget’s Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 CFR § 200 regarding Effective Dates and Grace Period for Procurement. See also FAQ 200.320-2 regarding Methods of Procurement - Sole Source for Research. 10. Travel a. Allowability of Travel Expenses

1. Expenses for transportation, lodging, subsistence and related items incurred by project personnel and by outside consultants employed on the project (see GPG Chapter II.C.2.g(iv)) who are in travel status on business related to an NSF-supported project are allowable as prescribed in the governing cost principles. Except as noted in paragraph b. below, the requirements for prior approval specified in 2 CFR § 200.474 are waived.

2. Except as provided in the governing cost principles, the difference between

economy airfare and a higher-class airfare is unallowable. A train, bus or other surface carrier may be used in lieu of, or as a supplement to, air travel at the lowest first-class rate by the transportation facility used. If such travel, however, could have been performed by air, the allowance will not normally exceed that for jet economy airfare.

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b. Travel Support for Dependents of Key Project Personnel Travel support for dependents of key project personnel is allowable only under the following conditions as outlined in 2 CFR § 474(c)(2):

1. the individual is a key person who is essential to the project on a full-time basis;

2. the individual’s residence away from home and in a foreign country is for a continuous period of six months or more and is essential to the effective performance of the project; and

3. the dependents’ travel allowance is consistent with the policies of the

organization administering the award. In accordance with Article 3, prior approval is required for travel costs for dependents and must be requested via use of NSF’s electronic systems. NSF approval of such changes will be by an amendment to the award signed by the cognizant NSF Grants and Agreements Officer.

c. Use of US-Flag Air Carriers

1. In accordance with the Fly America Act (49 USC 40118), any air transportation to, from, between, or within a country other than the US of persons or property, the expense of which will be assisted by NSF funding, must be performed by or under a code-sharing arrangement with a US-flag air carrier if service provided by such a carrier is available (see Comptroller General Decision B-240956, dated September 25, 1991). Tickets (or documentation for electronic tickets) must identify the US flag air carrier’s designator code and flight number.

2. For the purposes of this requirement, US-flag air carrier service is considered available even though:

(a) comparable or a different kind of service can be provided at less cost by a

foreign-flag air carrier; (b) foreign-flag air carrier service is preferred by, or is more convenient for,

NSF or traveler; or (c) service by a foreign-flag air carrier can be paid for in excess foreign

currency.

3. The following rules apply unless their application would result in the first or last leg of travel from or to the US being performed by a foreign-flag air carrier:

(a) a US-flag air carrier shall be used to destination or, in the absence of

direct or through service, to the farthest interchange point on a usually traveled route.

(b) if a US-flag air carrier does not serve an origin or interchange point, a

foreign-flag air carrier shall be used only to the nearest interchange point on a usually traveled route to connect with a US flag air carrier.

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d. Use of Foreign-Flag Air Carriers There are certain circumstances under which use of a foreign-flag air carrier is permissible. These circumstances are outlined below:

1. Airline "Open Skies" Agreements:

A foreign flag air carrier may be used if the transportation is provided under an air transportation agreement between the United States and a foreign government, which the Department of Transportation has determined meets the requirements of the Fly America Act. For information on "open skies" agreements in which the United States has entered, please refer to the General Services Administration’s (GSA) website at http://www.gsa.gov/portal/content/103191.

Note on US/European Union Open Skies Agreement In 2007, the US entered into an “Open Skies” Agreement with the European Union (“EU”). This agreement was modified in June 2010. The current Agreement gives European Community airlines (airlines of Member States) the right to transport passengers and cargo on flights funded by the US government, when the transportation is between: (1) any two points outside the United States; or (2) a point in the United States and any point outside the United States that the EU airline is authorized to serve under the “Open Skies” Agreement. In 2011, two significant changes were made to the US/EU Open Skies Agreement. First, EU airlines are now granted the right to transport civilian agency-funded passengers who are NOT eligible to travel on GSA Airline City Pair Contract fares (e.g., awardees) between a point in the United States and a point outside the United States even if there is a GSA Airline City Pair Contract fare in effect between the origin and destination points. An individual, however, who is traveling on a route for which there is a City Pair Contract fare in effect, and who is eligible for such a fare (e.g., Federal employee), is required to fly on a US carrier, absent another applicable exception. Second, under the amended Agreement, EU airlines are now authorized to transport passengers between points in the United States and points outside the EU if the EU airline is authorized to serve the route under the Agreement. This includes flights that originate, arrive, or stop in the EU. Prior to this change, EU airlines were limited to flying passengers between points in the US and points in the EU. 2. Involuntary Rerouting: Travel on a foreign-flag carrier is permitted if a US-flag air

carrier involuntarily reroutes the traveler via a foreign-flag air carrier, notwithstanding the availability of alternative US-flag air carrier service.

3. Travel To and From the US on non-European Community Airlines

Use of a non-European Community foreign-flag air carrier is permissible if the airport abroad is:

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(a) the traveler's origin or destination airport, and use of US-flag air carrier service would extend the time in a travel status by at least 24 hours more than travel by a foreign-flag air carrier; or

(b) an interchange point, and use of US-flag air carrier service would

increase the number of aircraft changes the traveler must make outside of the US by two or more, would require the traveler to wait four hours or more to make connections at that point, or would extend the time in a travel status by at least six hours more than travel by a foreign-flag air carrier.

4. Travel Between Points Outside the US on non-European Community Airlines Use of a non- European Community foreign-flag air carrier is permissible if:

(a) travel by a foreign-flag air carrier would eliminate two or more aircraft

changes en route; (b) travel by a US-flag air carrier would require a connecting time of four

hours or more at an overseas interchange point; or (c) the travel is not part of the trip to or from the US, and use of a US-flag air

carrier would extend the time in a travel status by at least six hours more than travel by a foreign-flag air carrier.

5. Short Distance Travel. For all short distance travel, regardless of origin and

destination, use of a foreign-flag air carrier is permissible if the elapsed travel time on a scheduled flight from origin to destination airport by a foreign-flag air carrier is three hours or less and service by a US-flag air carrier would double the travel time.

11. Rearrangement and Reconversion Costs a. Costs incurred for ordinary and normal rearrangement and alteration of facilities that do

not constitute construction (i.e., rearrangements and alterations costs aggregating less than $25,000) to adapt space or utilities within a completed structure to accomplish the objectives of the award, are allowable and approved, provided the: 1. building has a usable life consistent with project purposes and is architecturally

suitable for conversion; 2. rearrangements and alterations are essential to the project supported by the

award; and 3. space involved will be occupied by the project. In situations where the space is

rented, in order for the costs of the rearrangement and alteration to be allowed, the awardee must secure a lease for the length of the project.

b. The rearrangements and alteration of facilities aggregating $25,000 or over require the prior written approval from NSF via use of NSF’s electronic systems. Appendix II of 2 CFR § 200 contains provisions that must be included in contracts made by the awardee.

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12. Allowable Costs a. The allowability of costs2 and cost allocation methods for work performed under this

award, up to the amount specified in the award, shall be determined in accordance with the governing cost principles as specified below and must conform with NSF policies, award special provisions and awardee internal policies in effect on the start date of the grant.

b. The cost principles applicable to educational institutions, State, local, and Indian Tribal governments and non-profit organizations (other than hospitals) can be found in 2 CFR § 200, Subpart E.

c. Separate guidance for hospitals can be found in 45 CFR Part 74, Appendix E, “Principles for Determining Costs Applicable to Research and Development Under Grants and Contracts with Hospitals.”

d. Separate guidance for for-profit organizations can be found in the Federal Acquisition Regulation, Part 31.

e. Certain prior approval requirements contained in the governing cost principles have been modified by Article 3.

13. Payments a. Except as noted in AAG Chapter III.C, NSF awardees are required to request payments

electronically through the Award Cash Management Service (ACM$). Under ACM$, awardees must provide award level detail at the time of the payment request. Awardees should request payments in amounts necessary to meet their current needs, pursuant to the guidelines contained in 31 CFR Part 205. Unless otherwise specified in the award, the awardee agrees to comply with all applicable Treasury regulations and National Science Foundation implementing and reporting procedures, which are outlined in AAG Chapter III.

b. In accordance with 2 CFR § 200.305, where appropriate, awardees are required to maintain advances of Federal funds in interest-bearing accounts. Awardees may retain interest earned on amounts up to $500 per year for administrative expenses. Any additional interest earned on Federal advance payments deposited in interest-bearing accounts must be remitted annually to the Department of Health and Human Services Payment Management System (PMS) through an electronic medium using either the Automated Clearing House (ACH) network or a Fedwire Funds Service payment. Instructions on submission of remittances can be found in AAG Chapter III.D.3.

2 Consistent with 2 CFR § 200.453, for computing devices, charging as a direct cost is allowable for devices that are essential and allocable, but not solely dedicated, to the performance of the award.

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14. Cooperative Agreement Increments Unless otherwise specified, each successive increment of a cooperative agreement will be funded at the level specified in the original notice of award without a formal request from the awardee provided an annual project report has been received from the Principal Investigator(s) and accepted by the cognizant NSF Program Officer. Continuing funding is contingent on: (1) availability of funds; (2) satisfactory scientific/technical progress; and (3) fulfillment of any special conditions of the award (including the requisite cost sharing notification, when applicable (see Article 30)). 15. Project Reporting Requirements a. Annual Project Reports

1. Submission Requirement. Annual project reports are required for both standard

and continuing awards.3

2. Content of Annual Project Reports. The Research Performance Progress Report

(RPPR), as implemented in Research.gov, should be used for preparation of the Annual Project Reports to address progress in all activities of the project, including any activities intended to address the Broader Impacts criterion that are not intrinsic to the research. The awardee shall include subaward activities in annual project reports that are submitted to NSF.

3. Timing of Annual Project Reports. Unless otherwise specified in the award,

annual project reports should be submitted electronically no later than 90 days prior to the end of the current budget period to allow adequate time for the cognizant NSF Program Officer to review and approve the report. As reflected in the Project Report System, the report is considered due during the 90 day period. The report becomes overdue the day after the 90 day period ends. It should be noted that the final annual report serves as the project’s final report and must be submitted in accordance with paragraph b below.

Failure to submit timely reports will delay NSF review and processing of pending proposals and processing of additional funding and administrative actions, including, but not limited to, no cost extensions for all identified PIs/PDs and co-PIs/co-PDs on a given award. In the case of continuing grants, failure to submit timely reports may delay processing of funding increments.

b. Final Project Report

1. Submission Requirement. Unless otherwise specified in the award, the final

project report should be submitted electronically no later than 120 days following the end of the award. As reflected in the Project Report System, the report is considered due during the 120 day period. The report becomes overdue the day after the 120 day period ends.

3 Submission of an “interim” report via the Project Report System does not constitute compliance with the annual reporting requirement.

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2. Content of Final Project Report. The Research Performance Progress Report, as implemented in Research.gov, also should be used for preparation of the Final Project Report to address progress in all activities of the project, including any activities intended to address the Broader Impacts criterion that are not intrinsic to the research. The awardee shall include subaward activities in final project reports that are submitted to NSF.

3. Additional Requirements. The awardee also shall provide to the cognizant NSF

Program Officer, no later than 120 days following the end date of the award, any unique reports or other end items specified in the award (e.g., special cost sharing reports), including any reporting requirements set forth in the applicable program solicitation referenced in the award as being directly related to either the award or the administration of the award.

c. Project Outcomes Report for the General Public

No later than 120 days following the end of the award, a project outcomes report for the general public must be submitted electronically via Research.gov. This report serves as a brief summary, prepared specifically for the public, of the nature and outcomes of the project. This report will be posted electronically by NSF exactly as it is submitted. For information about the content of the report, see the AAG Chapter II.D.3.

16. Expenditure Reports NSF uses the payment request entries in the Award Cash Management Service (ACM$) to collect the final financial data for awards paid through that system. No additional interim or final financial reporting is required. Awardees must submit final payment requests through ACM$ no later than 120 days after the award end date. For instructions regarding final disbursement reporting, see the AAG Chapter III.E. 17. Information Collection Information collection activities performed under this award are the responsibility of the awardee, and NSF support of the project does not constitute NSF approval of the survey design, questionnaire content or information collection procedures. The awardee shall not represent to respondents that such information is being collected for or in association with the National Science Foundation or any other Government agency without the specific written approval of such information collection plan or device by the Foundation. This requirement, however, is not intended to preclude mention of NSF support of the project in response to an inquiry or acknowledgment of such support in any publication of this information.

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18. Responsible Conduct of Research In accordance with Section 7009 of the America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science (COMPETES) Act (42 USC 1862o–1) NSF requires that awardees must have a plan in place to provide appropriate training and oversight in the responsible and ethical conduct of research (RCR) to undergraduates, graduate students, and postdoctoral researchers who will be supported by NSF to conduct research. Training plans are subject to review, upon request. Awardees must designate one or more persons to oversee compliance with the RCR training requirement. Awardees are responsible for verifying that undergraduate students, graduate students, and postdoctoral researchers supported by NSF to conduct research have received training in the responsible and ethical conduct of research, in accordance with the plan the awardee has put in place for their organization. Awardees shall ensure that these RCR requirements flow down to all subrecipients, or are otherwise appropriately addressed in the subaward. 19. Reporting Subawards and Executive Compensation The URL referenced in b.2.(a) below has changed to: https://www.sam.gov. In accordance with the Office of Management and Budget guidance published in the Federal Register (FR) September 14, 2010 on Requirements for Federal Funding Accountability and Transparency Act Implementation, grantees must comply with the following award term, contained in 75 FR 22705: a. Reporting of first-tier subawards

1. Applicability. Unless you are exempt as provided in paragraph d. of this award

term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e of this award term).

2. Where and when to report

(a) You must report each obligating action described in paragraph a.1.of this

award term to www.fsrs.gov. (b) For subaward information, report no later than the end of the month

following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.)

3. What to report. You must report the information about each obligating action that

the submission instructions posted at www.fsrs.gov specify.

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b. Reporting Total Compensation of Recipient Executives

1. Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if:

(a) the total Federal funding authorized to date under this award is $25,000

or more; (b) in the preceding fiscal year, you received—

(i) 80 percent or more of your annual gross revenues from Federal

procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

(ii) $25,000,000 or more in annual gross revenues from Federal

procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

(c) The public does not have access to information about the compensation

of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report executive total compensation

described in paragraph b.1.of this award term:

(a) As part of your registration profile at www.ccr.gov.

(b) By the end of the month following the month in which this award is made, and annually thereafter.

c. Reporting of Total Compensation of Subrecipient Executives

1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first-tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient’s five most highly compensated executives for the subrecipient’s preceding completed fiscal year, if:

(a) in the subrecipient's preceding fiscal year, the subrecipient received—

(i) 80 percent or more of its annual gross revenues from Federal

procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

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(ii) $25,000,000 or more in annual gross revenues from Federal

procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and

(b) The public does not have access to information about the compensation

of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report subrecipient executive total

compensation described in paragraph c.1.of this award term:

(a) To the recipient. (b) By the end of the month following the month during which you make the

subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year.

d. Exemptions If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report:

1. subawards, and 2. the total compensation of the five most highly compensated executives of any

subrecipient. e. Definitions For purposes of this award term:

1. Entity means all of the following, as defined in 2 CFR part 25:

(a) A Governmental organization, which is a State, local government, or Indian tribe;

(b) A foreign public entity; (c) A domestic or foreign nonprofit organization; (d) A domestic or foreign for-profit organization; (e) A Federal agency, but only as a subrecipient under an award or

subaward to a non-Federal entity.

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2. Executive means officers, managing partners, or any other employees in

management positions. 3. Subaward:

(a) This term means a legal instrument to provide support for the

performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient.

(b) The term does not include your procurement of property and services

needed to carry out the project or program (for further explanation, see 2 CFR § 200.330).

(c) A subaward may be provided through any legal agreement, including an

agreement that you or a subrecipient considers a contract.

4. Subrecipient means an entity that:

(a) Receives a subaward from you (the recipient) under this award; and (b) Is accountable to you for the use of the Federal funds provided by the

subaward.

5. Total compensation means the cash and noncash dollar value earned by the executive during the recipient’s or subrecipient’s preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)):

(a) Salary and bonus. (b) Awards of stock, stock options, and stock appreciation rights. Use the

dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.

(c) Earnings for services under non-equity incentive plans. This does not

include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees.

(d) Change in pension value. This is the change in present value of defined

benefit and actuarial pension plans.

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(e) Above-market earnings on deferred compensation which is not tax-

qualified. (f) Other compensation, if the aggregate value of all such other

compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000.

20. System for Award Management and Universal Identifier Requirements The Central Contractor Registration (CCR) has become the System for Award Management (SAM). The URL has changed to: https://www.sam.gov. All requirements related to CCR mentioned in the Article below apply to and must be completed in SAM. In accordance with the Office of Management and Budget guidance published in the Federal Register (FR) September 14, 2010 on Financial Assistance Use of Universal Identifier and Central Contractor Registration, grantees must comply with the following award term, contained in 75 FR 22706: a. Requirement for Central Contractor Registration (CCR). Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the currency of your information in the CCR until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term. b. Requirement for Data Universal Numbering System (DUNS) numbers. If you are authorized to make subawards under this award, you:

1. Must notify potential subrecipients that no entity (see definition in paragraph c. of this award term) may receive a subaward from you unless the entity has provided its DUNS number to you.

2. May not make a subaward to an entity unless the entity has provided its DUNS

number to you. c. Definitions. For purposes of this award term:

1. Central Contractor Registration (CCR) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the CCR Internet site (currently at http://www.ccr.gov).

2. Data Universal Numbering System (DUNS) number means the nine-digit number

established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS number may be obtained from D&B by telephone (currently 866-705-5711) or the Internet (currently at http://fedgov.dnb.com/webform).

3. Entity, as it is used in this award term, means all of the following, as defined at 2

CFR part 25, subpart C:

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(a) A Governmental organization, which is a State, local government, or

Indian tribe; (b) A foreign public entity; (c) A domestic or foreign nonprofit organization; (d) A domestic or foreign for-profit organization; and (e) A Federal agency, but only as a subrecipient under an award or

subaward to a non-Federal entity.

4. Subaward:

(a) This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient.

(b) The term does not include your procurement of property and services

needed to carry out the project or program (for further explanation, see 2 CFR § 200.330).

(c) A subaward may be provided through any legal agreement, including an

agreement that you consider a contract.

5. Subrecipient means an entity that:

(a) Receives a subaward from you under this award; and (b) Is accountable to you for the use of the Federal funds provided by the

subaward. 21. Academic Technology Transfer and Commercialization of University Research a. Any institution of higher education (as such term is defined in section 101(A) of the

Higher Education Act of 1965 (20 USC 1001(a)) that receives National Science Foundation research support (i.e., any grant or cooperative agreement awarded by NSF) and has received at least $25,000,000 in total Federal research awards in the most recently completed Federal fiscal year shall keep, maintain, and report annually to the National Science Foundation the universal resource locator (URL) for a public website that contains information concerning its general approach to and mechanisms for transfer of technology and the commercialization of research results, including:

1. contact information for individuals and university offices responsible for

technology transfer and commercialization; 2. information for both university researchers and industry on the institution's

technology licensing and commercialization strategies;

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3. success stories, statistics, and examples of how the university supports commercialization of research results;

4. technologies available for licensing by the university where appropriate; and 5. any other information deemed by the institution to be helpful to companies with

the potential to commercialize university inventions. For purposes of determining whether an institution meets the threshold for this requirement, both the NSF research support and the Federal research awards must have been active at some point during the most recently completed Federal fiscal year. The institution’s URL containing the information required in section a. must be electronically submitted to the following email alias: ACA520@nsf.gov. The URLs will be available to the public on Research.gov at: http://www.research.gov/acasection520.

b. Trade Secret Information - Notwithstanding section a., an institution shall not be required

to reveal confidential, trade secret, or proprietary information on its website. 22. Federal Tax Obligations Article 22 applies only to awards that have cumulative budgets that exceed $5,000,000. In accordance with the Commerce, Justice, Science and Related Agencies Appropriations Act of 2012, the awardee affirms that they: (1) have filed all required Federal tax returns; (2) have not been convicted of a criminal offense under the Internal Revenue Code of 1986;

and

(3) have not been notified of any unpaid Federal tax assessment for which the liability remains unsatisfied, unless the assessment is the subject of an installment agreement or offer in compromise that has been approved by the Internal Revenue Service and is not in default, or the assessment is the subject of a non-frivolous administrative or judicial proceeding.

23. Unpaid Federal Tax Liability Article 23 applies only to awardees that are corporations. In accordance with the Commerce, Justice, Science and Related Agencies Appropriations Act of 2012, the awardee affirms that the corporation has no unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability.

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24. Criminal Convictions Article 24 applies only to awardees that are corporations. In accordance with the Commerce, Justice, Science and Related Agencies Appropriations Act of 2012, the awardee affirms that the corporation has not been convicted of a felony criminal violation under any Federal law. 25. Copyrighted Material a. Definition Subject writing means any material that:

1. is or may be copyrighted under Title 17 of the USC; and 2. is produced by the awardee or its employees in the performance of work under

this award. Subject writings include such items as reports, books, journal articles, software,

databases, sound recordings, videotapes, and videodiscs. b. Copyright Ownership, Government License Except as otherwise specified in the award or by this paragraph, the awardee may own

or permit others to own copyright in all subject writings. The awardee agrees that if it or anyone else does own copyright in a subject writing, the Federal government will have a nonexclusive, nontransferable, irrevocable, royalty-free license to exercise or have exercised for or on behalf of the US throughout the world all the exclusive rights provided by copyright. Such license, however, will not include the right to sell copies or phonorecords of the copyrighted works to the public.

c. Awards Affected by International Agreements If the award indicates it is subject to an identified international agreement or treaty, NSF

can direct the awardee to convey to any foreign participant or otherwise dispose of such rights to subject writings as are required to comply with that agreement or treaty. In such cases, the standard clauses for Copyrighted Material or Patents Rights will be modified through the addition of the following:

“This project is supported under the cooperative program listed below. Your rights in inventions, writings, and data may be affected.”

The applicable agreement or treaty will be identified immediately beneath that sentence.

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d. Awardee Action to Protect Government Interests The awardee agrees to acquire, through written agreement or an employment

relationship, the ability to comply with the requirements of the preceding paragraphs and, in particular, to acquire the ability to convey rights in a subject writing to a foreign participant if directed by NSF under the previous paragraph. The awardee further agrees that any transfer of copyright or any other rights to a subject writing, by it or anyone whom it has allowed to own such rights, will be made subject to the requirements of this article.

26. Public Access to Copyrighted Material NSF’s Public Access Policy applies to awards, funded in whole or in part, as a result of proposals submitted, or due, on or after January 25, 2016. NSF’s Public Access Policy may be viewed at http://www.nsf.gov/news/special_reports/public_access/. NSF’s policy on public access to copyrighted material (Public Access Policy) reflects the Foundation’s commitment to making certain that, to the extent possible, the American public, industry and the scientific community have access to the results of federally funded scientific research. Pursuant to this policy, awardees must ensure that all articles in peer-reviewed scholarly journals and papers in juried conference proceedings: • are deposited in a public access compliant repository (as identified in the Public Access

Policy); • are available for download, reading, and analysis within 12 months of publication; • possess a minimum set of machine-readable metadata elements as described in the

Public Access Policy; • are reported in annual and final reports with a persistent identifier. Either the final printed version or the final peer-reviewed manuscript is acceptable for deposit. 27. Program Income

a. Definition The following provisions implement applicable portions of 2 CFR § 200.307. Program

income means gross income earned by the awardee that is directly generated by a supported activity or earned as a result of the award during the period of performance. Program income includes, but is not limited to, income from fees for services performed, the use of rental or real or personal property acquired under the award, the sale of commodities or items fabricated under the award, license fees and royalties on patents and copyrights, and principal and interest on loans made with award funds. Interest earned on advances of Federal funds is not program income. Except as otherwise provided in Federal statutes, regulations, or the terms and conditions of the award, program income does not include rebates, credits, discounts, and interest earned on any of them. Note that registration fees collected under NSF-supported conferences are considered program income.

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b. NSF Policy

1. Standard Treatment Unless otherwise specified in the award, program income received or accruing to the awardee during the period of the award is to be retained by the awardee, added to the funds committed to the project by NSF, and thus used to further project objectives. The awardee has no obligation to NSF with respect to program income received beyond the period of the award. The awardee also shall have no obligation to NSF with respect to program income earned from license fees and royalties for copyrighted material, patents, patent applications, trademarks, and inventions produced under an award (see AAG Chapter III.D.4). However, Patent and Trademark Amendments (35 USC 18) shall apply to inventions made under an award. See also FAQ 200.307.1 of the Frequently Asked Questions for The Office of Management and Budget’s Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 CFR § 200 regarding Fees and Royalties and Bayh-Dole. Efforts should be made to avoid having unexpended program income remaining at the end of the award. Program income earned during the project period should be expended prior to requesting reimbursement against the award. In the event an awardee has unexpended program income remaining at the end of the award, it must be remitted to NSF by crediting costs otherwise chargeable against the award. If it is not possible to record the credit via ACM$, the excess program income must be remitted to NSF electronically or by check payable to the National Science Foundation. 2. Special Treatment In exceptional circumstances, NSF may approve use of a special award provision to restrict or eliminate an awardee’s control of income earned through NSF-supported activities if it determines that this would best serve the purposes of a particular program or award. The special provisions may require treatment of the program income via use of the deductive method, the Federal share of program income be kept in a separate account, or reported on and/or remitted for such periods as may be reasonable under the circumstances.

If, in accordance with the award terms and conditions program income is designated for deductive treatment, it must be remitted to NSF by crediting costs otherwise chargeable against the award. Program Income in excess of the award will be remitted to NSF electronically or by check payable to the National Science Foundation.

c. Records Retention

The awardee is required to retain appropriate financial and other records relating to project income earned during the award period of performance and for three years beyond the date of submission of the final financial disbursements in ACM$. For instructions regarding final disbursement reporting, see AAG Chapter III.E.

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d. Reporting Requirements

On an annual basis, awardees are required to submit a Program Income Reporting Worksheet to NSF in order to report program income earned/expended for any of their awards during the previous twelve months or to validate that they did not earn/expend program income for any of their awards during the applicable period. The Program Income Reporting Worksheet utilizes the standard OMB-approved government-wide data elements from the Program Income section of the Federal Financial Report (SF 425) and is due 45 days after the end of the Federal Fiscal Year. The Program Income Reporting Worksheet and related instructions are available through Research.gov (http://research.gov/programincome).

Failure to report program income or to validate that no program income was earned or expended could result in suspension of future award payments.

28. Publications a. Acknowledgment of Support The awardee is responsible for assuring that an acknowledgment of NSF support:

1. is made in any publication (including World Wide Web sites) of any material

based on or developed under this project, in the following terms: "This material is based upon work supported by the National Science Foundation under Cooperative Agreement No. (NSF award number)."

2. is orally acknowledged during all news media interviews, including popular media

such as radio, television and news magazines. b. News Releases The awardee is strongly encouraged to consult with and notify the cognizant NSF

Program Officer or his/her designee prior to issuing news releases concerning NSF-supported activities.

c. Disclaimer The awardee is responsible for assuring that every publication of material (including

World Wide Web pages) based on or developed under this award, except scientific articles or papers appearing in scientific, technical or professional journals, contains the following disclaimer:

"Any opinions, findings, and conclusions or recommendations expressed in this material are those of the author(s) and do not necessarily reflect the views of the National Science Foundation."

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d. Copies for NSF The awardee is responsible for assuring that the cognizant NSF Program Officer is

provided access to, either electronically or in paper form, a copy of every publication of material based on or developed under this award, clearly labeled with the award number and other appropriate identifying information, promptly after publication.

e. Metric System The Metric Conversion Act of 1975 (15 USC §§ 205a-k) and E.O. 12770 (3 CFR § 1991

comp.) encourage Federal agencies to use the Metric System in procurement, grants and other business-related activities. All reports and publications resulting from this NSF award are encouraged to use the metric system of measurements.

29. Patent Rights4 Unless otherwise provided in the award, if this award is for experimental, developmental, or research work, the following clause (implementing the Bayh-Dole Act, [35 USC § 200 et seq.]) shall apply. The awardee shall include this clause in all subawards for experimental, developmental, or research activities. a. Definitions

1. INVENTION means any invention or discovery which is or may be patentable or

otherwise protectable under Title 35 of the USC, to any novel variety of plant which is or may be protected under the Plant Variety Protection Act (7 U.S.C. § 2321 et seq.).

2. SUBJECT INVENTION means any invention of the awardee conceived or first

actually reduced to practice in the performance of work under this award, provided that in the case of a variety of plant, the date of determination (as defined in section 41(d)) must also occur during the period of performance.

3. PRACTICAL APPLICATION means to manufacture in the case of a composition

or product, to practice in the case of a process or method, or to operate in the case of a machine or system; and, in each case, under such conditions as to establish that the invention is being utilized and that its benefits are to the extent permitted by law or Government regulations available to the public on reasonable terms.

4. MADE when used in relation to any invention means the conception or first actual

reduction to practice of such invention.

4 Awardees are reminded that, in view of the US Supreme Court decision in Stanford v. Roche, employee assignment agreements should include a present conveyance of rights (“I hereby assign” rather than a promise or intent to assign) in order to effectively convey patent rights to the institution, allowing the institution to meet its responsibility under the Bayh-Dole Act to provide the agency with a license to patented inventions.

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5. NON-PROFIT ORGANIZATION means a domestic university or other institution of higher education or an organization of the type described in Section 501(c)(3) of the Internal Revenue Code of 1954 (26 USC § 501(c)) and exempt from taxation under Section 501(a) of the Internal Revenue Code (26 USC § 501(a)) or any domestic non-profit scientific or educational organization qualified under a State non-profit organization statute.

b. Allocation of Principal Rights The awardee may retain the entire right, title, and interest throughout the world to each

subject invention subject to the provisions of this Patent Rights clause and 35 USC Part 203. With respect to any subject invention in which the awardee retains title, the Federal Government shall have a non-exclusive, nontransferable, irrevocable, paid-up license to practice or have practiced for or on behalf of the US the subject invention throughout the world. If the award indicates it is subject to an identified international agreement or treaty, the National Science Foundation (NSF) also has the right to direct the awardee to convey to any foreign participant such patent rights to subject inventions as are required to comply with that agreement or treaty.

c. Invention Disclosure, Election of Title and Filing of Patent Applications by Awardee

1. The awardee will disclose each subject invention to NSF within two months after

the inventor discloses it in writing to awardee personnel responsible for the administration of patent matters. The disclosure to NSF shall be in the form of a written report and shall identify the award under which the invention was made and the inventor(s). It shall be sufficiently complete in technical detail to convey a clear understanding of the nature, purpose, operation, and, to the extent known, the physical, chemical, biological or electrical characteristics of the invention. The disclosure shall also identify any publication, on sale or public use of the invention and whether a manuscript describing the invention has been submitted for publication and, if so, whether it has been accepted for publication at the time of disclosure. In addition, after disclosure to NSF, the awardee will promptly notify NSF of the acceptance of any manuscript describing the invention for publication or of any on sale or public use planned by the awardee.

2. The awardee will elect in writing whether or not to retain title to any such

invention by notifying NSF within two years of disclosure to NSF. However, in any case where publication, on sale, or public use has initiated the one-year statutory period wherein valid patent protection can still be obtained in the US, the period for election of title may be shortened by NSF to a date that is no more than 60 days prior to the end of the statutory period.

3. The awardee will file its initial patent application on an invention to which it elects

to retain title within one year after election of title or, if earlier, prior to the end of any statutory period wherein valid patent protection can be obtained in the US after a publication, on sale, or public use. The awardee will file patent applications in additional countries or international patent offices within either ten months of the corresponding initial patent application, or six months from the date when permission is awarded by the Commissioner of Patents and Trademarks to file foreign patent applications when such filing has been prohibited by a Secrecy Order.

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4. Requests for extension of the time for disclosure to NSF, election, and filing

under subparagraphs 1., 2., and 3 may, at the discretion of NSF, be awarded. d. Conditions When the Government May Obtain Title The awardee will convey to NSF, upon written request, title to any subject invention:

1. if the awardee fails to disclose or elect the subject invention within the times

specified in paragraph c. above, or elects not to retain title; provided that NSF may only request title within 60 days after learning of the failure of the awardee to disclose or elect within the specified times;

2. in those countries in which the awardee fails to file patent applications within the

times specified in paragraph c. above, but prior to its receipt of the written request of NSF, the awardee shall continue to retain title in that country; or

3. in any country in which the awardee decides not to continue the prosecution of

any application for, to pay the maintenance fees on, or defend in a reexamination or opposition proceeding on, a patent on a subject invention.

e. Minimum Rights to Awardee

1. The awardee will retain a non-exclusive royalty-free license throughout the world

in each subject invention to which the Government obtains title, except if the awardee fails to disclose the subject invention within the times specified in paragraph c. above. The awardee’s license extends to its domestic subsidiaries and affiliates, if any, within the corporate structure of which the awardee is a party and includes the right to award sublicenses of the same scope to the extent the awardee was legally obligated to do so at the time the award was made. The license is transferable only with the approval of NSF except when transferred to the successor of that part of the awardee’s business to which the invention pertains.

2. The awardee’s domestic license may be revoked or modified by NSF to the

extent necessary to achieve expeditious practical application of the subject invention pursuant to an application for an exclusive license submitted in accordance with applicable provisions at 37 CFR Part 404. This license will not be revoked in that field of use or the geographical areas in which the awardee has achieved practical application and continues to make the benefits of the invention reasonably accessible to the public. The license in any foreign country may be revoked or modified at discretion of NSF to the extent the awardee, its licensees, or its domestic subsidiaries or affiliates have failed to achieve practical application in that foreign country.

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3. Before revocation or modification of the license, NSF will furnish the awardee a written notice of its intention to revoke or modify the license, and the awardee will be allowed thirty days (or such other time as may be authorized by NSF for good cause shown by the awardee) after the notice to show cause why the license should not be revoked or modified. The awardee has the right to appeal, in accordance with applicable regulations in 37 CFR Part 404 concerning the licensing of Government-owned inventions, any decision concerning the revocation or modification of its license.

f. Awardee Action to Protect Government’s Interest

1. The awardee agrees to execute or to have executed and promptly deliver to NSF

all instruments necessary to: (i) establish or confirm the rights the Government has throughout the world in those subject inventions for which the awardee retains title; and (ii) convey title to NSF when requested under paragraph d. above, and to enable the Government to obtain patent protection throughout the world in that subject invention.

2. The awardee agrees to require, by written agreement, its employees, other than

clerical and non-technical employees, to disclose promptly in writing to personnel identified as responsible for the administration of patent matters and in a format suggested by the awardee each subject invention made under this award in order that the awardee can comply with the disclosure provisions of paragraph c. above, and to execute all papers necessary to file patent applications on subject inventions and to establish the Government’s rights in the subject inventions. The disclosure format should require, as a minimum, the information requested by paragraph c.1 above. The awardee shall instruct such employees through the employee agreements or other suitable educational programs on the importance of reporting inventions in sufficient time to permit the filing of patent applications prior to US or foreign statutory bars.

3. The awardee will notify NSF of any decision not to continue prosecution of a

patent application, pay maintenance fees, or defend in a reexamination or opposition proceeding on a patent, in any country, not less than 30 days before the expiration of the response period required by the relevant patent office.

4. The awardee agrees to include, within the specification of any US patent

application and any patent issuing thereon covering a subject invention, the following statement:

“This invention was made with Government support under (identify the award) awarded by the National Science Foundation. The Government has certain rights in this invention.”

5. The awardee or its representative will complete, execute and forward to NSF a

confirmation of a License to the US Government and the page of a United States patent application that contains the Federal support clause within two months of filing any domestic or foreign patent application.

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g. Subcontracts

1. The awardee will include this Patent Rights clause, suitably modified to identify

the parties, in all subcontracts, regardless of tier, for experimental, developmental or research work. The subcontractor will retain all rights provided for the awardee in this Patent Rights clause, and the awardee will not, as part of the consideration for awarding the subcontract, obtain rights in the subcontractors’ subject inventions.

2. In the case of subcontracts, at any tier, when the prime award by NSF was a

contract (but not a cooperative agreement), NSF, subcontractor, and contractor agree that the mutual obligations of the parties created by this Patent Rights clause constitute a contract between the subcontractor and the Foundation with respect to those matters covered by this Patent Rights clause.

h. Reporting on Utilization of Subject Inventions The awardee agrees to submit on request periodic reports no more frequently than

annually on the utilization of a subject invention or on efforts at obtaining such utilization that are being made by the awardee or its licensees or assignees. Such reports shall include information regarding the status of development, date of first commercial sale or use, gross royalties received by the awardee and such other data and information as NSF may reasonably specify. The awardee also agrees to provide additional reports in connection with any march-in proceeding undertaken by NSF in accordance with paragraph j. of this Patent Rights clause. As required by 35 USC § 202(c)(5), NSF agrees it will not disclose such information to persons outside the Government without the permission of the awardee.

i. Preference for United States Industry Notwithstanding any other provision of this Patent Rights clause, the awardee agrees

that neither it nor any assignee will grant to any person the exclusive right to use or sell any subject invention in the US unless such person agrees that any products embodying the subject invention or produced through the use of the subject invention will be manufactured substantially in the US. However, in individual cases, the requirement for such an agreement may be waived by NSF upon a showing by the awardee or its assignee that reasonable but unsuccessful efforts have been made to award licenses on similar terms to potential licensees that would be likely to manufacture substantially in the US or that under the circumstances domestic manufacture is not commercially feasible.

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j. March-in Rights The awardee agrees that with respect to any subject invention in which it has acquired

title, NSF has the right in accordance with procedures at 37 CFR § 401.6 and NSF regulations at 45 CFR § 650.13 to require the awardee, an assignee or exclusive licensee of a subject invention to grant a non-exclusive, partially exclusive, or exclusive license in any field of use to a responsible applicant or applicants, upon terms that are reasonable under the circumstances and if the awardee, assignee, or exclusive licensee refuses such a request, NSF has the right to grant such a license itself if NSF determines that such action is necessary: 1. because the awardee or assignee has not taken or is not expected to take within

a reasonable time, effective steps to achieve practical application of the subject invention in such field of use;

2. to alleviate health or safety needs which are not reasonably satisfied by the

awardee, assignee, or their licensees; 3. to meet requirements for public use specified by Federal regulations and such

requirements are not reasonably satisfied by the awardee, assignee, or licensee; or

4. because the agreement required by paragraph i. of this Patent Rights clause has

not been obtained or waived or because a licensee of the exclusive right to use or sell any subject invention in the US is in breach of such agreement.

k. Special Provisions for Awards with Non-profit Organizations If the awardee is a nonprofit organization, it agrees that:

1. rights to a subject invention in the US may not be assigned without the approval

of NSF, except where such assignment is made to an organization which has as one of its primary functions the management of inventions, provided that such assignee will be subject to the same provisions as the awardee;

2. the awardee will share royalties collected on a subject invention with the inventor,

including Federal employee co-inventors (when NSF deems it appropriate) when the subject invention is assigned in accordance with 35 USC § 202(e) and 37 CFR § 401.10;

3. the balance of any royalties or income earned by the awardee with respect to

subject inventions, after payment of expenses (including payments to inventors) incidental to the administration of subject inventions, will be utilized for the support of scientific or engineering research or education; and

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4. it will make efforts that are reasonable under the circumstances to attract licensees of subject inventions that are small business firms and that it will give preference to a small business firm if the awardee determines that the small business firm has a plan or proposal for marketing the invention which, if executed, is equally likely to bring the invention to practical application as any plans or proposals from applicants that are not small business firms; provided that the awardee is also satisfied that the small business firm has the capability and resources to carry out its plan or proposal. The decision whether to give a preference in any specific case will be at the discretion of the awardee. However, the awardee agrees that the Secretary of Commerce may review the awardee’s licensing program and decisions regarding small business applicants, and the awardee will negotiate changes to its licensing policies, procedures or practices with the Secretary when the Secretary’s review discloses that the awardee could take reasonable steps to implement more effectively the requirements of this paragraph k.4.

l. Communications All communications required by this Patents Rights clause must be submitted through

the iEdison Invention Information Management System maintained by the National Institutes of Health unless prior permission for another form of submission is obtained from the Patent Assistant at patents@nsf.gov or at Office of the General Counsel, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.

30. Cost Sharing and Cost Sharing Records a. General

1. The awardee must cost share in accordance with any amount specified on Line

M of the award budget. Cost sharing participation in other projects may not be counted towards meeting the specific cost sharing requirements of the award, and must come from nonfederal sources.

2. Should the awardee become aware that it may be unable to provide the cost

sharing of at least the amount identified on Line M of the NSF award budget, it must: a) immediately provide written notification to the cognizant NSF Grants and Agreements Officer of the situation; and b) indicate steps it plans to take to secure replacement cost sharing; or c) indicate the plans it has to either continue or phase out the project in the absence of the approved level of cost sharing.

3. Should NSF agree to the organization’s proposed plans, the cognizant NSF

Grants and Agreements Officer will modify the award accordingly, including, if appropriate, reducing the amount of NSF support. Should the organization’s plans be unacceptable to NSF, the award may be subject to termination. NSF modifications to proposed cost sharing revisions are made on a case-by-case basis.

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4. Failure by the organization to notify NSF, in accordance with paragraph 2. above, may result in the disallowance of some or all of the costs charged to the award; the subsequent recovery by NSF of some or all of the NSF funds provided under the award; possible termination of the award; and may constitute a violation of the terms of the award so serious as to provide grounds for subsequent suspension or debarment.

b. Cost Sharing Records The awardee must maintain records of all project costs that are claimed by the awardee

as cost sharing as well as records of costs to be paid by the Government. Such records are subject to audit. Acceptable forms of cost sharing contributions are those that meet the criteria identified in 2 CFR § 200.306. Unless otherwise specified in the award, approval is given to include unrecovered indirect costs (also known as facilities and administrative costs for colleges and universities) as part of cost sharing or matching contributions. If the awardee's cost participation includes in-kind contributions, the basis for determining the valuation for volunteer services and donated property must be documented.

c. Cost Sharing Reports The amount of mandatory cost sharing must be documented (on an annual and final

basis), certified by the Authorized Organizational Representative, and reported to the cognizant NSF Program Officer via use of NSF’s electronic systems. Such notifications must be submitted no later than 90 days prior to the end of the current budget period to meet the annual notification requirement, and no later than 120 days following the end date of the award to meet the final notification requirement. The cost share notification is considered due during the 90 or 120 day period respectively. The notification becomes overdue the day after the respective 90 or 120 day period ends.

31. Audit and Records a. Financial records, supporting documents, statistical records, and other records pertinent

to this award must be retained by the awardee for a period of three years from award financial closeout as described in AAG Chapter III.E., except as noted in 2 CFR § 200.333.

b. Awardees that are States, Local Governments or Non-Profit Organizations, shall arrange

for the conduct of audits as required by 2 CFR § 200 Subpart F. They shall provide copies of the reports of these audits to the Federal Audit Clearinghouse (see 2 CFR § 200.512(b)). Any federal audit of this project deemed necessary by NSF shall build upon the results of such audit(s).

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c. All awards issued by NSF meet the definition of “Research and Development” (R&D) at 2 CFR § 200.87. As such, auditees should identify NSF awards as part of the R&D cluster on the Schedule of Expenditures of Federal Awards (SEFA). The auditor should test NSF awards for compliance as instructed in Part V, Clusters of Programs. NSF recognizes that some awards may have another classification for purposes of indirect costs. The auditor is not required to report the disconnect (i.e., the award is classified as R&D for audit purposes but non-research for indirect cost rate purposes), unless the auditee is charging indirect costs at a rate other than the rate(s) specified in the award document(s).

32. Site Visits NSF, through authorized representatives, has the right, at all reasonable times, to make site visits to review project accomplishments and management control systems and to provide such technical assistance as may be required. If any site visit is made by NSF on the premises of the awardee or a subrecipient under an award, the awardee shall provide and shall require its subrecipients to provide all reasonable facilities and assistance for the safety and convenience of the NSF representatives in the performance of their duties. All site visits and evaluations shall be performed in such a manner that will not unduly delay the work. 33. Suspension or Termination a. Any suspension or termination action taken by NSF must be issued by an NSF Grants

and Agreements Officer and will be in accordance with this article and AAG Chapter VII.A.

b. The award may be suspended or terminated in whole or in part in any of the following situations by: 1. NSF when the awardee fails to comply with the terms and conditions of the

award;

2. NSF when the Foundation has cause;

3. NSF when ordered by the Deputy Director under NSF’s Regulation on Research Misconduct [45 CFR Part 689];

4. mutual agreement of NSF and the awardee; or

5. the awardee on written notice to NSF setting forth the reasons for such action, the effective date, and, in the case of partial termination, the portion to be terminated or suspended (with the understanding that if NSF determines that the unterminated portion will not accomplish the purposes of the award, it may suspend or terminate the entire award).

c. Normally, action by NSF to suspend or terminate an award will be taken only after the

awardee has been informed by NSF of any deficiency on its part and given an opportunity to correct it; but NSF may immediately suspend or terminate the award without notice when it believes such action is reasonable to protect the interests of the Government.

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d. No costs incurred during a suspension period or after the effective date of a termination will be allowable, except those costs which, in the opinion of NSF, the awardee could not reasonably avoid or eliminate, or which were otherwise authorized by the suspension or termination notice, provided such costs would otherwise be allowable under the terms of the award and the governing cost principles.

e. Within 30 days of the termination date, the awardee will furnish a summary of progress

under the award and an itemized accounting of costs incurred prior to the termination date or pursuant to d, above. Final allowable costs under a termination settlement shall be in accordance with the terms of the award, including this article, and the governing cost principles, giving due consideration to the progress under the award. In no event will the total of NSF payments under a terminated award exceed the award amount, or the NSF pro rata share of the total project costs when cost sharing was anticipated, whichever is less.

f. When an NSF award is terminated or partially terminated, both NSF and the awardee

remain responsible for compliance with the requirements in 2 CFR §§ 200.343 Closeout and 200.344 Post-closeout adjustments and continuing responsibilities.

g. A notice of termination other than by mutual agreement and/or the final settlement

amount may be subject to review pursuant to Article 34. h. NSF will report award terminations to the OMB-designated integrity and performance

system in accordance with Federal regulation, but only after the awardee has had an opportunity to exhaust the review procedures contained in AAG Chapter VII.B.

34. Termination Review Procedure a. A request for review of a notice of termination or settlement should be addressed to the

Division Director, Division of Grants and Agreements (DGA), National Science Foundation, 4201 Wilson Blvd., Arlington, VA, 22230. It must be postmarked no later than 30 days after the date of the letter notifying the awardee of the termination or settlement.

b. The request for review must contain a full statement of the awardee's position and the

pertinent facts and reasons in support of such position. c. Review of a notice of termination or settlement will be conducted in accordance with

AAG Chapter VII.B.3.

d. Pending resolution of the request for review, the notice of termination shall remain in effect.

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35. Non-Discrimination Statutes a. The award is subject to the provisions of Title VI of the Civil Rights Act of 1964 [42 USC

§ 2000d et seq.], Title IX of the Education Amendments of 1972 [20 USC §§ 1681 et seq.], the Rehabilitation Act of 1973 [29 USC § 794], the Age Discrimination Act of 1975 [42 USC §§ 6101 et seq], Equal Employment Opportunity [E.O. 11246], Limited English Proficiency (LEP) [E.O. 13166] and all regulations and policies issued by NSF pursuant to these statutes. Specifically, in accordance with these statutes, regulations, and policies, no person on the basis of race, color, national origin, sex, disability, or age shall be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination under the award.

b. By electronically signing a proposal, the Authorized Organizational Representative is providing the requisite Certification of Compliance with National Science Foundation Nondiscrimination Regulations and Policies. This Nondiscrimination Certification sets forth the nondiscrimination obligations with which all awardees must comply.5 These obligations also apply to subrecipients and contractors under the award. The awardee, therefore, shall obtain the NSF Nondiscrimination Certification from each organization that applies to be or serves as a subrecipient or contractor under the award (for other than the provision of commercially available supplies, materials, equipment or general support services) prior to entering into the arrangement. Additional information may be found in AAG Chapter VI.A.

36. Reporting Classifiable Information NSF awards are intended for unclassified, publicly releasable research. The awardee will not be granted access to classified information. NSF does not expect that the results of the research project will involve classified information. If, however, in conducting the activities supported under an award, the PI/PD or co-PI/co-PD is concerned that any of the research results involve potentially classifiable information that may warrant Government restrictions on the dissemination of the results, the PI/PD or co-PI/co-PD should promptly notify the cognizant NSF Program Officer.

37. Animal Welfare a. Any awardee performing research on vertebrate animals6 shall comply with the Animal

Welfare Act [7 USC § 2131 et seq.] and the regulations promulgated thereunder by the Secretary of Agriculture [9 CFR §§ 1.1-4.11] pertaining to the humane care, handling, and treatment of vertebrate animals held or used for research, teaching or other activities supported by Federal awards. The awardee is expected to ensure that the guidelines described in the National Academy of Science (NAS) Publication, “Guide for the Care and Use of Laboratory Animals” are followed and to comply with the Public Health Service Policy and Government Principles Regarding the Care and Use of Animals (included as Appendix D to the NAS Guide). Further guidance on the use of vertebrate animals in NSF funded projects can be found in the AAG Chapter VI.B.3.

5 The complete text of the Nondiscrimination Certification is available electronically in GPG, Chapter II, Exhibit II-6. 6 In addition to vertebrate animals covered by the Animal Welfare Act, the requirements specified in this Article also are extended to rats, birds and mice.

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b. Effective October 1, 2015, awardees must include NSF-supported activities with live vertebrate animals as covered activities in their Office of Laboratory Animal Welfare (OLAW) Animal Welfare Assurance. Further, they must promptly report situations involving NSF-supported animal activities to OLAW as required by the Public Health Service (PHS) Policy on Humane Care and Use of Laboratory Animals (http://grants.nih.gov/grants/olaw/references/phspol.htm) Section IV.F.3. The cognizant NSF Program Officer also should be notified.

c. Any changes to, or lapses in, the Institutional Animal Care and Use Committee approved animal use protocols associated with an NSF award should be reported promptly by the awardee to the cognizant NSF Program Officer.

d. In the event the awardee’s multi-project Assurance is cancelled or lapses, the awardee must immediately notify the cognizant NSF Grants and Agreements Officer(s) identified in the notice of award.

NOTE--The awardee may request registration of its facility and a current listing of licensed dealers from the Regional Office of the Animal and Plant Health Inspection Service (APHIS), United States Department of Agriculture, for the region in which its research facility is located. The location of the nearest APHIS Regional Office, as well as information concerning this and other APHIS activities, may be obtained at http://www.aphis.usda.gov/. 38. Research Involving Recombinant or Synthetic Nucleic Acid Molecules If this award supports research involving recombinant or synthetic nucleic acid molecules, the awardee agrees to comply with the Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid Molecules (NIH Guidelines) (http://oba.od.nih.gov/rdna/nih_guidelines_oba.html), including the procedural requirements and any subsequent revisions as they are published in the Federal Register. Further information on research awards that involve recombinant or synthetic nucleic acid molecules can be found in the AAG Chapter VI.B.2. 39. Clean Air and Water (Applicable only if the award exceeds $150,000, or a facility to be used has been the subject of a conviction under the Clean Air Act [42 USC § 7413(c)(1)] or the Clean Water Act [33 USC § 1319(c)] and is listed by the Environmental Protection Agency (EPA), or the award is not otherwise exempt.) The awardee agrees as follows: a. To comply with all the requirements of Section 114 of the Clean Air Act [42 USC § 7414]

and Section 308 of the Clean Water Act [33 USC § 1318], respectively, relating to inspection, monitoring, entry, reports and information, as well as other requirements specified in Section 114 and Section 308 of the Clean Air Act and the Clean Water Act, respectively, and all regulations and guidelines issued thereunder before the award of the cooperative agreement.

b. That no portion of the work required by the award will be performed in a facility listed on

the Environmental Protection Agency List of Violating Facilities on the date that the award was awarded unless and until EPA eliminates the name of such facility or facilities from such listing.

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c. To use its best efforts to comply with clean air standards and clean water standards at

the facility in which the award is being performed. d. To insert the substance of the provisions of this article into any nonexempt subaward. 40. Human Research Subjects The awardee is responsible for the protection of the rights and welfare of any human subjects involved in research, development and related activities supported by this award. The awardee agrees to comply with the NSF regulation, entitled, "Protection of Human Subjects [45 CFR Part 690]." 41. Life Sciences Dual Use Research of Concern (DURC)

This Article applies to all research, for which NSF award funds may be used, that potentially falls within the scope of the US Government Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern (http://www.phe.gov/s3/dualuse/Pages/default.aspx) as published in September 2014, hereafter referred to as the “Policy”. See also AAG Chapter VI.B.5. Awardees are responsible for monitoring the research progress and for implementation of all appropriate biosafety and biosecurity risk mitigation measures including compliance with all applicable laws and regulations related to that implementation, including the Policy specified above. (See also http://osp.od.nih.gov/office-biotechnology-activities/biosecurity/dual-use-research-concern for Frequently Asked Questions, case studies, and other educational materials on DURC.) 42. Investigator Financial Disclosure Policy If the awardee employs more than 50 persons, the awardee must maintain an appropriate written and enforced policy on conflict of interest consistent with the provisions of AAG Chapter IV.A.

See also FAQ 200.112-1 of the Frequently Asked Questions for The Office of Management and Budget’s Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 CFR § 200 regarding Conflict of Interest. 43. Whistleblower Protection Awardees are notified of the applicability of 41 USC § 4712, as amended by P.L. 112-239, providing protection for whistleblowers. 44. State Sales and Use Taxes Awardees are reminded that the governing cost principles cited in Article 12 limit the allowability of taxes to those the organization is required to pay. Awardees must avail themselves of any tax exemptions for which any activities supported by Federal funds may qualify, including any applicable exemptions from state or local sales and use taxes on the purchase of goods and services made with NSF award funds.

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45. Debarment and Suspension Recipients shall fully comply with the requirements stipulated in Subpart C of 2 CFR Part 180, entitled “Responsibilities of Participants Regarding Transactions” as supplemented by NSF’s regulations at 2 CFR Part 2520 (http://www.gpo.gov/fdsys/pkg/CFR-2011-title2-vol1/pdf/CFR-2011-title2-vol1-part2520.pdf). The recipient is responsible for ensuring that any lower tier covered transaction, as described in Subpart B of 2 CFR Part 180, entitled “Covered Transactions,” includes a term or condition requiring compliance with Subpart C. The recipient also is responsible for further requiring the inclusion of a similar term or condition in any subsequent lower tier covered transaction. The recipient acknowledges that failing to disclose the information required under 2 CFR § 180.335 may result in the termination of the award, or pursuance of other available remedies, including suspension and debarment. 46. Changes—Limitation of Funds Either party to this agreement may request changes or additions to the agreement. Any such changes must be agreed to by both parties, set forth in writing, and approved by the cognizant NSF Grants and Agreements Officer. No changes shall be considered as an authorization to the awardee to exceed the amount of funds awarded under this agreement. This agreement, however, may be formally amended to modify the amount of funds awarded. 47. Resolution of Conflicting Conditions Should there be any inconsistency between any special conditions contained in the notice of award and these Cooperative Agreement General Conditions, the special conditions in the notice of award shall control. Should there be any inconsistency between these Cooperative Agreement General Conditions, any special conditions contained in the notice of award, and any NSF solicitation cited or included by reference in the notice of award, the matter should be referred to the cognizant NSF Grants and Agreements Officer for guidance. 48. Resolution of Disagreements and Disputes Disagreements and disputes of fact arising under this cooperative agreement that are not resolved through informal discussions will be subject to the written decision of the cognizant NSF Grants and Agreements Officer. This decision will be final unless, within 30 days of receipt of the decision, the awardee makes a written request for review to the Division Director, Division of Grants and Agreements (DGA), NSF. The request for review must contain a full statement of the awardee's position and the pertinent facts and reasons in support of the position. Review will follow the procedures stipulated under AAG Chapter VII.B.3. Other Considerations 49. Liability NSF cannot assume any liability for accidents, bodily injury, illness, breach of contract, any other damages or loss, or any claims arising out of any activities undertaken pursuant to the award, whether with respect to persons or property of the awardee or third parties. The awardee institution is advised to insure or otherwise protect itself or others, as it may deem desirable.

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50. Sharing of Findings, Data, and Other Research Products a. NSF expects significant findings from research and education activities it supports to be

promptly submitted for publication, with authorship that accurately reflects the contributions of those involved. It expects investigators to share with other researchers, at no more than incremental cost and within a reasonable time, the data, samples, physical collections and other supporting materials created or gathered in the course of the work. It also encourages awardees to share software and inventions or otherwise act to make the innovations they embody widely useful and usable.

b. Adjustments and, where essential, exceptions may be allowed to safeguard the rights of

individuals and subjects, the validity of results, or the integrity of collections or to accommodate legitimate interests of investigators.

51. Partnerships with Foreign Collaborators a. The awardee shall provide written notification to the cognizant NSF Program Officer prior

to entering into formal arrangements with foreign collaborators. In the notification, the awardee should specify: the projects and individuals involved; the purpose of the cooperative program; the proposed duration; location; and, the magnitude of the proposed activity.

b. This provision is not intended to require notifications to the NSF of the routine use of

awardee services and facilities by foreign investigators or foreign students, or the routine use of foreign facilities by project staff in accordance with the awardee’s standard policies and procedures.

52. Government Permits and Activities Abroad a. For awards that include activities requiring permits from appropriate Federal, state, or

local government authorities, the awardee should obtain any required permits prior to undertaking the proposed activities.

b. The awardee must comply with the laws and regulations of any foreign country in which

research is to be conducted. Areas of potential concern include: (1) requirements for advance approval to conduct research or surveys; (2) special arrangements for the participation of foreign scientists and engineers; and (3) special visas for persons engaged in research or studies. NSF does not assume responsibility for awardee compliance with the laws and regulations of the country in which the work is to be conducted.

c. The awardee also should assure that activities carried on outside the US are

coordinated as necessary with appropriate US and foreign government authorities and that necessary licenses, permits or approvals are obtained prior to undertaking the proposed activities.

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53. Increasing Seat Belt Use in the United States In accordance with Executive Order 13043, Increasing Seat Belt Use in the United States, dated April 16, 1997, “grantees are encouraged to adopt and enforce on-the-job seat belt policies and programs for their employees when operating company-owned, rented, or personally owned vehicles.”